CIK: 0000702007
Total reported value
$245.9M
Reporting period: 2026-03-31 · Number of holdings: 894
CALDWELL SUTTER CAPITAL, INC. disclosed 894 holdings in its latest 13F filing for the period ending 2026-03-31, with total reported value of $245.9M and a quarterly turnover rate of 15.8%.
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Caldwell Sutter Capital, INC.'s disclosed holdings carry a Herfindahl concentration index of 0.010 — mathematically equivalent to about 99 equally-sized positions, well below its 894 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 2.84), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 52% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Add KNTK
+61.9% $3.1M
Trim AAPL
-4.0% -$1.4M
Add SGOV
+54.7% $1.6M
Trim MSFT
-0.4% -$838.9K
Trim V
-1.7% -$704.7K
Trim INTU
+0.8% -$718.8K
Showing top 200 holdings (of 894 total)
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | AAPL | Apple INC | Stock-Tech | 4.81% | -0.78% | -3.97% | |
| 2 | PPIH | Perma-pipe International Hol | Stock-Other | 2.84% | — | -0.43% | |
| 3 | CAT | Caterpillar INC | Stock-Industrials | 2.36% | +0.27% | -4.87% | |
| 4 | KNTK | Kinetik Holdings INC | Stock-Other | 2.33% | +1.21% | +61.90% | |
| 5 | PLBC | Plumas Bancorp | Stock-Other | 2.11% | +0.10% | — | |
| 6 | MSA | Msa Safety INC | Stock-Industrials | 1.95% | -0.23% | -8.93% | |
| 7 | SSBI | Summit State Bank | Stock-Other | 1.89% | +0.18% | +0.07% | |
| 8 | SGOV | Ishares 0-3 Month Treasury B | ETF-Gov Bonds | 1.80% | +0.59% | +54.72% | |
| 9 | V | Visa Inc-class A Shares | Stock-Financials | 1.59% | -0.36% | -1.70% | |
| 10 | DGICA | Donegal Group Inc-cl A | Stock-Other | 1.48% | -0.32% | — | |
| 11 | CVX | Chevron CORP | Stock-Energy | 1.41% | +0.31% | -0.81% | |
| 12 | BRK-B | Berkshire Hathaway Inc-cl B | Stock-Other | 1.39% | — | +9.43% | |
| 13 | IVV | Ishares Core S&p 500 ETF | ETF-Large Cap & Growth | 1.28% | -0.13% | -0.52% | |
| 14 | VIG | Vanguard Dividend Apprec ETF | ETF-Other | 1.24% | — | -1.74% | |
| 15 | SENEA | Seneca Foods CORP - Cl A | Stock-Other | 1.23% | +0.29% | — | |
| 16 | COST | Costco Wholesale CORP | Stock-Consumer Staples | 1.22% | +0.11% | -1.15% | |
| 17 | MOD | Modine Manufacturing Co | Stock-Consumer Disc | 1.14% | +0.20% | -22.24% | |
| 18 | MSFT | Microsoft CORP | Stock-Tech | 1.10% | -0.40% | -0.37% | |
| 19 | JPM | Jpmorgan Chase & Co | Stock-Financials | 1.08% | -0.18% | -2.49% | |
| 20 | PKBK | Parke Bancorp INC | Stock-Other | 1.05% | +0.08% | -0.29% | |
| 21 | BCML | Baycom CORP | Stock-Other | 0.97% | — | — | |
| 22 | XOM | Exxon Mobil CORP | Stock-Energy | 0.96% | +0.25% | -0.79% | |
| 23 | AXP | American Express Co | Stock-Financials | 0.90% | -0.25% | — | |
| 24 | FSUN | Firstsun Capital Bancorp | Stock-Other | 0.86% | — | -0.60% | |
| 25 | CSCO | Cisco Systems INC | Stock-Tech | 0.85% | — | -6.17% | |
| 26 | KYN | Kayne Anderson Energy Infra | Stock-Other | 0.82% | +0.08% | -0.32% | |
| 27 | IBM | Intl Business Machines CORP | Stock-Tech | 0.81% | -0.25% | -1.97% | |
| 28 | VTI | Vanguard Total Stock Mkt ETF | ETF-Other | 0.80% | — | — | |
| 29 | IGM | Ishares Expanded Tech Sector | ETF-Tech | 0.76% | -0.10% | — | |
| 30 | PFE | Pfizer INC | Stock-Healthcare | 0.76% | +0.08% | +3.74% | |
| 31 | META | Meta Platforms Inc-class A | Stock-Comm Services | 0.72% | -0.15% | -0.32% | |
| 32 | PEP | Pepsico INC | Stock-Consumer Staples | 0.72% | +0.08% | +8.40% | |
| 33 | NEN | New England Realty Assoc-lp | Stock-Other | 0.71% | — | — | |
| 34 | CWBC | Community West Bancshares | Stock-Other | 0.70% | — | — | |
| 35 | BANR | Banner Corporation | Stock-Other | 0.70% | — | — | |
| 36 | UNP | Union Pacific CORP | Stock-Industrials | 0.64% | — | +0.66% | |
| 37 | INBK | First Internet Bancorp | Stock-Other | 0.64% | — | — | |
| 38 | JNJ | Johnson & Johnson | Stock-Healthcare | 0.64% | +0.07% | -1.49% | |
| 39 | MCHB | Mechanics Bancorp-a | Stock-Other | 0.62% | — | +0.07% | |
| 40 | MCI | Barings Corporate Investors | Stock-Other | 0.59% | — | — | |
| 41 | GOLD | Gold.com INC | Stock-Other | 0.58% | — | -16.16% | |
| 42 | AXR | Amrep CORP | Stock-Other | 0.57% | +0.17% | -1.59% | |
| 43 | INTU | Intuit INC | Stock-Tech | 0.56% | -0.33% | +0.76% | |
| 44 | NAII | Natural Alternatives Intl | Stock-Other | 0.53% | -0.17% | +8.01% | |
| 45 | INTG | Intergroup CORP | Stock-Other | 0.52% | +0.12% | — | |
| 46 | VZ | Verizon Communications INC | Stock-Comm Services | 0.52% | +0.10% | +3.17% | |
| 47 | HSY | Hershey Co/the | Stock-Consumer Staples | 0.51% | — | -0.72% | |
| 48 | CET | Central Securities CORP | Stock-Other | 0.49% | +0.16% | +60.43% | |
| 49 | WLY | Wiley (john) & Sons-class A | Stock-Other | 0.49% | — | -6.73% | |
| 50 | USFR | Wisdomtree Floating Rate Tre | ETF-Other | 0.49% | — | +9.42% |
Performance for Q3 2026
+3.3%
Performance Last 4 Quarters
+24.4%
Based on 72% of reported portfolio value with available pricing
| Period | Holdings | Total value | Stability | Top holdings |
|---|---|---|---|---|
| 2026-03-31 | 894 | $245.9M | 16 | |
| 2025-12-31 | 877 | $235.9M | 9 | |
| 2025-09-30 | 871 | $234.1M | 22 | |
| 2025-06-30 | 860 | $218.4M | 0 | |
| 2025-03-31 | 889 | $210.2M | 0 | |
| 2024-12-31 | 898 | $214.9M | 0 | |
| 2024-09-30 | 907 | $214.6M | 0 | |
| 2024-06-30 | 925 | $202.1M | 0 | |
| 2024-03-31 | 923 | $207.8M | 0 | |
| 2023-12-31 | 959 | $196.8M | 0 | |
| 2023-09-30 | 892 | $180.7M | 0 | |
| 2023-06-30 | 867 | $190.9M | 0 | |
| 2023-03-31 | 566 | $137.2M | 0 | |
| 2022-12-31 | 315 | $113.4M | 0 |
Caldwell Sutter Capital, INC.'s most significant position changes for 2026-03-31: Sold out: Old National Bancorp (ONB); New buy: Embraer Sa-spon Adr (EMBJ); Sold out: Valaris Limited (VAL); Add: Kinetik Holdings INC (KNTK) — shares +61.90%; Trim: Apple INC (AAPL) — shares -3.97%.
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | KNTK | Kinetik Holdings INC | +1.2% | +61.90% | Add |
| 2 | SGOV | Ishares 0-3 Month Treasury B | +0.6% | +54.72% | Add |
| 3 | CVX | Chevron CORP | +0.3% | -0.81% | Trim |
| 4 | SENEA | Seneca Foods CORP - Cl A | +0.3% | — | Unchanged |
| 5 | CAT | Caterpillar INC | +0.3% | -4.87% | Trim |
| 6 | XOM | Exxon Mobil CORP | +0.3% | -0.79% | Trim |
| 7 | MOD | Modine Manufacturing Co | +0.2% | -22.24% | Trim |
| 8 | BANX | Arrowmark Financial CORP | +0.2% | +3607.50% | Add |
| 9 | SSBI | Summit State Bank | +0.2% | +0.07% | Add |
| 10 | AXR | Amrep CORP | +0.2% | -1.59% | Trim |
| 11 | CET | Central Securities CORP | +0.2% | +60.43% | Add |
| 12 | BRBS | Blue Ridge Bankshares INC | +0.2% | +185.90% | Add |
| 13 | INTG | Intergroup CORP | +0.1% | — | Unchanged |
| 14 | CLMT | Calumet INC | +0.1% | — | Unchanged |
| 15 | COST | Costco Wholesale CORP | +0.1% | -1.15% | Trim |
| 16 | PLBC | Plumas Bancorp | +0.1% | — | Unchanged |
| 17 | VZ | Verizon Communications INC | +0.1% | +3.17% | Add |
| 18 | XLE | Ss Energy Select Sector | +0.1% | -4.95% | Trim |
| 19 | PKBK | Parke Bancorp INC | +0.1% | -0.29% | Trim |
| 20 | PFE | Pfizer INC | +0.1% | +3.74% | Add |
| 21 | PEP | Pepsico INC | +0.1% | +8.40% | Add |
| 22 | KYN | Kayne Anderson Energy Infra | +0.1% | -0.32% | Trim |
| 23 | DOW | Dow INC | +0.1% | +9.32% | Add |
| 24 | JNJ | Johnson & Johnson | +0.1% | -1.49% | Trim |
| 25 | VDE | Vanguard Energy ETF | +0.1% | -0.48% | Trim |
| 26 | CCI | Crown Castle INC | +0.1% | +70.42% | Add |
| 27 | LMT | Lockheed Martin CORP | +0.1% | -1.50% | Trim |
| 28 | OKE | Oneok INC | +0.1% | +3.93% | Add |
| 29 | IMKTA | Ingles Markets Inc-class A | +0.1% | -1.22% | Trim |
| 30 | NRIM | Northrim Bancorp INC | -0.1% | — | Unchanged |
| 31 | ITIC | Investors Title Co | -0.1% | -3.56% | Trim |
| 32 | TLT | Ishares 20+ Year Treasury Bd | -0.1% | -22.33% | Trim |
| 33 | AIV | Apartment Invt & Mgmt Co -a | -0.1% | -0.94% | Trim |
| 34 | IGM | Ishares Expanded Tech Sector | -0.1% | — | Unchanged |
| 35 | VUG | Vanguard Growth ETF | -0.1% | -6.87% | Trim |
| 36 | IVV | Ishares Core S&p 500 ETF | -0.1% | -0.52% | Trim |
| 37 | META | Meta Platforms Inc-class A | -0.2% | -0.32% | Trim |
| 38 | NAII | Natural Alternatives Intl | -0.2% | +8.01% | Add |
| 39 | JPM | Jpmorgan Chase & Co | -0.2% | -2.49% | Trim |
| 40 | MSA | Msa Safety INC | -0.2% | -8.93% | Trim |
| 41 | AXP | American Express Co | -0.3% | — | Unchanged |
| 42 | IBM | Intl Business Machines CORP | -0.3% | -1.97% | Trim |
| 43 | DGICA | Donegal Group Inc-cl A | -0.3% | — | Unchanged |
| 44 | INTU | Intuit INC | -0.3% | +0.76% | Add |
| 45 | V | Visa Inc-class A Shares | -0.4% | -1.70% | Trim |
| 46 | MSFT | Microsoft CORP | -0.4% | -0.37% | Trim |
| 47 | AAPL | Apple INC | -0.8% | -3.97% | Trim |
| 48 | ONB | Old National Bancorp | — | EXIT | Sold out |
| 49 | EMBJ | Embraer Sa-spon Adr | — | NEW | New buy |
| 50 | VAL | Valaris Limited | — | EXIT | Sold out |
| Period | Filed | Type | EDGAR |
|---|---|---|---|
| 2026-03-31 | 2026-05-06 | 13F-HR | View on EDGAR |
| 2025-12-31 | 2026-01-30 | 13F-HR | View on EDGAR |
| 2025-09-30 | 2025-10-29 | 13F-HR | View on EDGAR |
| 2025-06-30 | 2025-07-11 | 13F-HR | View on EDGAR |
| 2025-03-31 | 2025-04-16 | 13F-HR | View on EDGAR |
| 2024-12-31 | 2025-01-21 | 13F-HR | View on EDGAR |
| 2024-09-30 | 2024-10-25 | 13F-HR | View on EDGAR |
| 2024-06-30 | 2024-07-23 | 13F-HR | View on EDGAR |
| 2024-03-31 | 2024-04-19 | 13F-HR | View on EDGAR |
| 2023-12-31 | 2024-01-19 | 13F-HR | View on EDGAR |
| 2023-09-30 | 2023-10-25 | 13F-HR | View on EDGAR |
| 2023-06-30 | 2023-07-19 | 13F-HR | View on EDGAR |
| 2023-03-31 | 2023-04-25 | 13F-HR | View on EDGAR |
| 2022-12-31 | 2023-02-10 | 13F-HR | View on EDGAR |
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